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Sponsor Compliance Analyst

Job ID: R-001047 Date posted: 11/21/2017 Primary Location CA-San Diego

Sponsor Compliance is a CLR team responsible for the oversight and enforcement of policies related to Gifts, Business Entertainment, and Sponsor Reimbursements.  We are seeking an Analyst to support the growth of our program. 

Functional Description

·         Process reimbursement requests

·         Working closely with STO, research lost, misplaced, or misrouted checks

·         Monitor Sponsor Support Accounts for suspicious or unusual activities

·         Respond to Financial Advisors and their staff in a timely, professional, and courteous manner

·         Collaborate with the Senior Analyst to find solutions to complex situations

Experience and Skills

·         Excellent written communication (writing sample may be requested)

·         Passion for providing quality service to Financial Advisors even under difficult circumstances

·         Ability to stay organized, focus on details, and handle competing priorities

·         Aptitude for understanding, interpreting, and applying firm policies

·         Familiarity with regulatory and industry standards related to Gifts, Business Entertainment,  and Sponsor Support a plus

·         Minimum 2 years experience in financial services required

·         Series 7 strongly preferred

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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